Rhonda L. Lisbon-KendallCRD Number: 4475246
Current Firm: Ubs Financial Services Inc.
Rhonda L. Lisbon-Kendall (CRD# 4475246) is an Investment Advisor Representative working at Ubs Financial Services Inc. in New Haven, CT and has over 11 years of experience in the finance industry.
Springboard Asset Management LLC
Sagepoint Financial, Inc.
Halsey Associates Inc.
|Ubs Financial Services Inc.||New Haven, CT||May 2008 - Current||8|
|Citigroup Global Markets Inc.||New Haven, CT||Feb 2007 - May 2008||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Westport, CT||Nov 2004 - Feb 2007||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV